A Story of a Big Dream and a Single, Small Step
You’ve heard the one about the consultant who hung it all up to write a cookbook, right? No, really. She well understood the power of micro-steps.
Full Article New York Times
Practice Areas
Arbitration, Litigation, Mediation
With 30 years of experience as a securities lawyer, Mark knows knows what it takes to effectively, and efficiently, handle litigation matters - when to settle, and when to take the case to a final hearing. Mark has litigated virtually every securities law claim imaginable and can effectively guide you through the process.
Investigations, Audits and Exams
Defense of SEC and FINRA investigations, routine exams, 8210 requests, OTRs and Wells Notices are the main stay of Mark's practice. From customer complaints to insider trading investigations, his experience in these proceedings, as well as in the practical aspects of operating a broker-dealer, can provide the experience that you need.
Securities Employment Issues
Representation of broker-dealers, investment advisers in all employment related issues, including employment agreements, separation agreements, litigation, promissory notes, and all aspects of the relationship.
Recent Posts
Eric R. Werner Named Associate Regional Director for Enforcement in Fort Worth Office
The Securities and Exchange Commission today announced that Eric R. Werner has been named the Associate Regional Director for Enforcement in the SEC’s Fort Worth Regional Office. He succeeds Jessica B. Magee, who left the agency in February.
Mr. Werner joined the SEC in 1995 as an Investigative Staff Attorney…